Latest Dodd-Frank Posts
OSHA Publishes Interim Rule for Handling Whistleblower Retaliation Complaints
Banking, Consumer Protection, Employment, Litigation OSHA has published the interim final text of regulations governing the employee protection (or whistleblower) provisions of the Consumer Financial Protection Act of 2010, or CFPA, Section 1057 of the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. This rule establishes procedures and time frames for the handling of retaliation complaints under CFPA, […] Read more →
Case Illustrates Role of 10b5-1 Plans in Securities Litigation
Litigation, Public Companies and Securities A Fourth Circuit case, Yates v. Municipal Mortgage & Equity, LLC (March 2014), recently examined the role of 10b5-1 plans in an alleged securities fraud case involving a... Read more →
PCAOB Member Disputes Audit Firms’ Tales
Public Companies and Securities, Uncategorized Jeanette M. Franzel, PCAOB Board Member, recently gave her views on the PCAOB’s requirements. Ms. Franzel noted the PCAOB has heard that in response to some recent changes,... Read more →
SEC Investment Management Division Provides Social Media Guidance
Investment Advisers, Private Equity Investment Advisers Act Rule 206(4)-1(a)(1) states that: “[i]t shall constitute a fraudulent, deceptive, or manipulative act, practice, or course of business . . . for any... Read more →